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ryan halvorson
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Decks in this class (51)
Rules of Conduct
What are the rules of conduct,
1,
11
37
cards
Code of Ethics
Principle 1,
Principle 2,
Principle 3
7
cards
Financial Planning Practice Standards
What are the practice standards i...,
Practice standards 100 series,
100_1
27
cards
Candidate Fitness Standards
What are the fitness standards,
Conduct deemed unacceptable,
Conduct deemed a presumptive bar
4
cards
Function, Purpose, and Regulation of Financial Institutions
Banks,
Who regulated banks,
Credit unions
13
cards
Financial Services Regulations and Requirements
Registration and licensing,
Primary finra licenses,
Two primary insurance licenses
20
cards
Financial Planning Process
What is the purpose of the financ...,
Steps in the financial planning p...,
Establishing client planner relat...
7
cards
Cash Flow Management
Three stages in the budgeting pro...,
Liquidity,
Marketability
10
cards
Economic Concepts
Law of demand,
Elastic,
Inelastic
20
cards
Education Funding
Needs analysis,
American opportunity credit,
Calculating the american opportun...
16
cards
Principles of Risk and Insurance
Risk,
Peril,
Hazard
27
cards
Health Insurance and Health Care Cost Management
Coinsurance,
Stop loss limit,
Deductibles
40
cards
Disability Income Insurance & LTC
Three primary definitions of disa...,
Social security definition of dis...,
Own occupation
16
cards
Life Insurance
Two primary types of life insurance,
Factors to consider when choosing...,
Participating and non participati...
47
cards
Characteristics, uses, and taxation of investment vehicles
Cash and cash equivalents,
Certificate of deposit cd,
Money market funds
36
cards
Types of Investment Risk
Systematic risk,
Purchasing power risk,
Reinvestment rate risk
15
cards
Quantitative Investment Concepts
Normal probability distribution,
Lognormal probability distribution,
Skewness
18
cards
Measures of Investment Return
Geometric average return,
Time weighted return,
Dollar weighted return
11
cards
Investment Theory
Modern portfolio theory,
Capital market line cml,
Mean variance optimization
22
cards
Bond and Stock Valuation Concepts
Bond relationships,
Bond duration,
Duration convexity relationships
8
cards
Portfolio Development and Analysis
Fundamental analysis,
Top down analysis,
Bottom up analysis
16
cards
Investment Strategies
Market timing,
Buy and hold,
Portfolio immunization
17
cards
Alternative Investments
Real estate investments,
Net operating income noi,
Reits
10
cards
Securities Laws
Securities act of 1933,
Securities exchange act of 1934,
Securities and exchange rule 145
17
cards
Income Tax Law Fundamentals
Primary sources of tax law,
Statutory primary sources,
Executive primary sources
31
cards
Income Tax Compliance & Calculations
Form 1040ez,
Married filing jointly,
Married filing separately
60
cards
Characteristics and Income Taxation of Business Entities
Sole proprietorship,
General partnership,
Limited partnership
38
cards
Income Taxation of Trusts and Estates
Filing requirements,
Choice of taxable year,
Tax treatment of distributions to...
11
cards
Alternative Minimum Tax (AMT)
Amt,
Computing the amti,
Private activity bonds
12
cards
Tax Reduction/Minimization Techniques
Income shifting,
Intra family transfer of closely ...,
Deferral of income
6
cards
Tax Consequences of Property Transactions
Capital assets defined,
Basis,
Basis for gifts
33
cards
Passive Activity and At-Risk Rules
At risk rules,
Passive activity,
Material participation
7
cards
Tax Implications of Special Circumstances
Dependency exemptions,
Filing status,
Medical expenses
16
cards
Charitable/Philanthropic Contributions and Deductions
Charitable contrbutions,
Tax exempt entities,
Public charities
16
cards
Social Security and Medicare
Paying into the system,
Who is not covered by oasdi,
Family employment rules
15
cards
Medicaid
Program structure,
Mandatory benefits,
Optional benefits
14
cards
Types of Retirement Plans
Qualified plans,
Characteristics of qualified plans,
Characteristics of non qualified ...
23
cards
Qualified Plan Rules and Options
Age and service requirements and ...,
Qualified plans minimum coverage ...,
Highly compensated employees hces
26
cards
Other Tax-Advantaged Retirement Plans
Traditional ira contributions,
Calculation of partial ira deduction,
Roth ira
11
cards
Regulatory Considerations
Erisa,
Department of labor regulations,
Fiduciary
11
cards
Key Factors Affecting Plan Selection for Businesses
Profit sharing plan suitability f...,
Profit sharing plan advantages,
Profit sharing plan disadvantages
29
cards
Distribution Rules and Taxation
Circumstances where 10 early with...,
Substantially equal and periodic ...,
Minimum distribution method 72 t
29
cards
Business Succession Planning
Succession planning importance,
Documenting guidelines for family...
2
cards
Characteristics and Consequences of Property Titling
Community property states,
Sole ownership,
Jtwros
19
cards
Strategies to Transfer Property
The probate process,
Operation of law,
Trusts
27
cards
Estate Planning Documents
Types of fiduciaries,
Fiduciary duties,
Power of attorney poa
16
cards
Gift and Estate Tax Compliance
Gift tax filing requirements,
Differences between gift and esta...,
Qualified transfers
32
cards
Sources of Estate Liquidity
Estate liquidity defined,
Techniques for improving estate l...,
Buy sell agreements
19
cards
Types, Features, and Taxation of Trusts
Simple and complex trusts,
Testamentary trust,
Totten trust
22
cards
Marital Deduction
Marital deduction requirements,
Life estates,
Power of appointment trust marita...
23
cards
Intra-Family and Other Business Transfer Techniques
Grantor trusts,
Grantor retained income trust grit,
Nonfamily grits
21
cards
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cfp
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